SEC Form 4 · accession 0000791519-15-000014
STAPLES INC · SPLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald Sargent
Officer — Chairman and CEO · Director
Period of report
Apr 29, 2014
Accepted (ET)
Mar 6, 2015 · 5:42 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000791519
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 29, 2014 | J | 82,835 | $0.00 | D | 42,269 | I | Ronald L. Sargent GRAT 2011 |
| Common StockF1 | Apr 29, 2014 | J | 82,835 | $0.00 | A | 977,032 | I | Ronald L. Sargent Rev TR |
| Common StockF2 | Jul 2, 2014 | J | 801 | $0.00 | D | 392,676 | D | |
| Common StockF2 | Jul 2, 2014 | J | 801 | $0.00 | A | 977,833 | I | Ronald L. Sargent Rev TR |
| Common StockF1 | Oct 14, 2014 | J | 19,313 | $0.00 | D | 0 | I | Ronald L. Sargent Irr. TR |
| Common StockF1 | Oct 14, 2014 | J | 19,313 | $0.00 | A | 997,146 | I | Ronald L. Sargent Rev TR |
| Common StockF2 | Jan 2, 2015 | J | 691 | $0.00 | D | 391,985 | D | |
| Common StockF2 | Jan 2, 2015 | J | 691 | $0.00 | A | 997,837 | I | Ronald L. Sargent Rev TR |
| Common StockF2 | Jan 12, 2015 | J | 250,001 | $0.00 | D | 141,984 | D | |
| Common StockF2 | Jan 12, 2015 | J | 250,001 | $0.00 | A | 1,247,838 | I | Ronald L. Sargent Rev TR |
| Common Stock | Mar 5, 2015 | F | 15,367 | $16.50 | D | 126,617 | D | |
| Common StockF2 | Mar 5, 2015 | J | 31,930 | $0.00 | D | 94,687 | D | |
| Common StockF2 | Mar 5, 2015 | J | 31,930 | $0.00 | A | 1,279,768 | I | Ronald L. Sargent Rev TR |
| Common Stock | holding | — | — | — | 19,313 | I | Jill Sargent Irr. TR | |
| Common Stock | holding | — | — | — | 619,174 | I | Sargent Partners LLC | |
| Common Stock | holding | — | — | — | 52,077 | I | Sargent Family Inv. LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock Unit 401(k)F3,F4 | — | holding | — | — | — | — | — | Common Stock | 4,561 | 4,561 | D |
| Phantom Stock Unit SERPF5,F4 | — | holding | — | — | — | — | — | Common Stock | 9,000 | 9,000 | D |
Explanation of responses
- F1Transfer from an indirect holding to an indirect holding.
- F2Transfer from a direct holding to an indirect holding.
- F3Phantom Stock Units are held in a 401(k) and are payable in cash following the reporting person's termination of employment. Number of underlying shares of common stock are based on March 5,2015 account statement.
- F4See Table II, Column 2
- F5Phantom Stock Units are held in a SERP and are payable in cash following the reporting person's termination of employment. No of underlying shares of common stock are based on March 5,2015 account statement.